Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Michael Shess is a financial professional with Northwestern Mutual Investment Services, LLC in Carlsbad, CA. Thomas is a licensed investment advisor representative registered in several states. Thomas's primary focus is providing investment advice, research and referrals to other advisors to individuals and small businesses. He has been in the industry for over 1 year and has licenses for Series 63, Series 6TO and SIE exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Investment research; referrals to other advisers
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Referral fees
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CA
01/15/2022 - Present
Northwestern Mutual Investment Services, LLC (CARLSBAD CA)
BC
Issued 01/28/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/14/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/07/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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